CIO-108 Proof of Concept (POC) and Pilot Projects

Policy Number:  CIO-108
Effective Date: 10/23/2018

Subject:  Proof of Concept (POC) and Pilot Projects

Policy Statement: This policy establishes controls related to Commonwealth Office of Technology (COT) Enterprise requirements for Proof of Concept (POC) and Pilot Projects.
  • Proof of Concept (POC):  A specific activity performed to determine if a concept or technology for a new project or program is feasible. For the purpose of this policy, a POC shall not incur external costs that require the procurement of material or services. (examples: Hardware, Software, Vendor Support).
  • Pilot Project:  An activity performed to evaluate a specific solution in a real-world environment at a smaller scale than the expected full scope of implementation. A pilot may include external costs, subject to approval.
Policy: The originator of all new POC and Pilot Projects, employing IT products or, in the case of cloud/vendor hosted products and services, IT use cases that are not currently part of the Kentucky Information Technology Standards (KITS), shall submit the POC or Pilot Project for approval, prior to project start, to the Chief Information Officer (CIO). 
All POC and Pilot Projects shall be submitted for approval, at a minimum, 20 working days prior to the start date of the POC or Pilot Project.
The CIO will evaluate the proposed POC or Pilot Project for value as an enterprise solution.  The CIO will inform the originator of the project if the project is approved, approved with conditions or not approved with reasons.
Authority: KRS 42.726 authorizes the Commonwealth Office of Technology (COT) to develop policies and compliance processes to support and promote the effective applications of information technology within the executive branch of state government.  KRS 42.726(m) authorizes COT to evaluate, participate in pilot studies, and make recommendations on information technology hardware and software.
Applicability:  All executive branch agencies, and non-executive branch agencies using COT-managed infrastructure or services shall adhere to this policy.  This includes employees, contractors, consultants, temporaries, volunteers, and other workers within state government.
Responsibility for Compliance:  Each agency shall ensure that staff within their organizational authority are made aware of and comply with this policy. The agency is responsible for enforcing it.  Unauthorized and/or neglectful actions regarding this policy may result in disciplinary action up to and including dismissal.  COT may require additional service charges for remediation efforts due to non-compliance with this policy.
Maintenance:  COT’s Office of Project Management is responsible for maintaining this policy.  Organizations may modify this policy to fulfill their responsibilities, but must obtain approval through an exception request.  Organization staff should refer to their internal policy, which may have additional information or clarification.
Review Cycle:  COT will review this policy at least every two years.
This page was last modified 8/6/2019 6:21 PM
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